| 07-03410 | 03/15/2011 | Claimant(s): Dennis Serio
Claimant Lawyers(s): Eric Madden
Respondent(s): Wachovia Securities
Respondent Lawyers(s): Ross Forbes
Arbitrator(s): Edwin J. Tomko, Lawrence R. Maxwell, Mary Day Smelser
Hearing Site: Dallas, TX
| | $0 |
| 10-00833 | 03/15/2011 | Claimant(s): Morgan Stanley
Claimant Lawyers(s): Kenneth O'Connor
Respondent(s): Amelie Escher
Respondent Lawyers(s): Amelie S. Escher
Arbitrator(s): Eugene M. Kaufman
Hearing Site: New York, NY
| | $0 |
| 10-04214 | 03/15/2011 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Carolyn Lamar
Respondent(s): William Holleran
Respondent Lawyers(s): William James Holleran
Arbitrator(s): Marc H. Schtul
Hearing Site: Denver, CO
| | $0 |
| 10-05239 | 03/15/2011 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): James J. McNamara
Respondent(s): Charles Norvell
Respondent Lawyers(s): Charles R. Norvell
Arbitrator(s): Bruce K. Isenberg
Hearing Site: Boca Raton, FL
| | $0 |
| 09-05107 | 03/15/2011 | Claimant(s): David Ferraro
Claimant Lawyers(s): Jenice L. Malecki
Respondent(s): Deutsche Bank Securities., Gregory Planck
Respondent Lawyers(s): Donald N. Cohen
Arbitrator(s): Sidney L. Sussman, Lynne T. Albert, John H. Griffing
Hearing Site: Charlotte, NC
|  | $0 |
| 10-03998 | 03/15/2011 | Claimant(s): Marshall Rev Living Trust A
Claimant Lawyers(s): William H. Marshall
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Richard A. Karoly
Arbitrator(s): Frank R Weaver
Hearing Site: San Francisco, CA
| | $15,425 |
| 10-04480 | 03/15/2011 | Claimant(s): Jerome Hurt, Theresa Hurt
Claimant Lawyers(s): Sarah Mae Harless
Respondent(s): Brian Simmons, Edward Jones
Respondent Lawyers(s): Dennis J. Capriglione
Arbitrator(s): Robert S. Burk
Hearing Site: Minneapolis, MN
| | $425 |
| 09-03002 | 03/14/2011 | Claimant(s): Chase Investment Services Corp.
Claimant Lawyers(s): Thomas J. Cahill
Respondent(s): Morgan Keegan & Company., Todd Rozzo
Respondent Lawyers(s): Charles M. Dalziel, Marc S. Dobin
Arbitrator(s): Allen Kilik, Ellen J. Abrams, Ronald J. Kovack
Hearing Site: Boca Raton, FL
| | $0 |
| 10-04231 | 03/14/2011 | Claimant(s): Penson Financial Services.
Claimant Lawyers(s): Michelle Young
Respondent(s): James R. McGonigle & Kathleen C. McGonig
Respondent Lawyers(s): James R. McGonigle
Arbitrator(s): Alan J. Blocher, Caryl S. Bernstein, Edward T. Moody
Hearing Site: Wilmington, DE
| | $0 |
| 09-00352 | 03/14/2011 | Claimant(s): Satish Anand
Claimant Lawyers(s): Brian Neville
Respondent(s): Alfred Cali, Granite Securities, Obsidian Financial Group, PGP Financial.
Respondent Lawyers(s): Alfred Guy Cali, Brian Reis, Ellen R. Lozinski
Arbitrator(s): Linda Ashley, Leslie Ruth Nydick, Thomas A. Abitabile
Hearing Site: New York, NY
| | $125,650 |
